Professional Documents
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1, Person Reporting {last name. first, middle initial) Cudahy, Richard D. 4. Title (Article IIl judges indicate active or senior slatus; magistrate judges indicate full- or pacbtlme) Senior Circuit Judge
7. Chambcr~ or Office Address Chambers 2648 219 Sou~l Deaxbc~n Street Clficago, IL fi0604
5b. [] Amended Report 8. On the basis of the information contained in thi~ Report and any modifications pert~ining there{e, it ix, in my opinion, ia compliance with applh:able laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The imtrucdons accompanying this form must be followat Complete all parts,
checking ~he NO~N~. box for each part where yo~ hal~ go reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
Patrick and Anna M. Cudahy Fund
2.
3.
Chairman
Member and Fellow
5. & 7. 8.
9. Co-Trustee
10. Member Union League Club of Chicago
11. Member
AdvisoDo Conunittee to the Center for International Human Rights at Northwestern University Fmmdation Advista-y Board of the Inlemational Aviation Law Insdmte at DePaul University
Vi.giting Committee of the University of Chicago Divinity School IPLAC - Intellectu~tl Property Lag, Association of Chicago Judicial Advisory Board of the Am~rlean Society oflmernational Law
12. Member
Cudahy, Richard D.
Date of Repnrt
05/~ 5,20X0
Date efReport
05/15:2010
B. Spouses Non-Investment Income - If you were married during an.v portion of the reporang 3,~ar, complete this section.
~ollar amount not requtr~ ~ce~t for honoraria.}
NO~ ~% reportable non-inv~tment income.) ~ I. 2~9 SO~CE A~ ~E ~1~ as M~cal D~tor ft~ Advo~te No~ide H~lth Sys~
2. 3. 4.
~
1. ~e Amefc~ S~ie~ of ~t~ati~M Law
~
Ma~h 19,2009
LOCATION
W~, ~
~
~1 Me~ing of Jt~ciM Adxqso~ J~g~ M~t Co~
2. 3. 4. 5.
State Coiled, PA
Dale of Report
Cudah); Richard D.
05/15,2010
I. 2. 3.
4.
5.
I.
2.
3. 4.
Date of Report
Cu,hhy, mch~rO V.
OS/~SJ2011)
A. .
~ptioa of Asse~ (i~l~g ~ ~) Pla~ "~" afi~ each ais~
n.
Income during re~ ~fi~ T~e (~.g.. ~m ] C~ I ] div.. ~t. (A-~ ~ ~t.)
c.
Gross value at end of re~g Valu~ (J-P) Value Me~ C~ 3 (Q-W)
D.
Tr~cfiom dor~g ~po~ng pedod
G~ C~e 1 (A-If)
1.
2. 3. 4. 5. 6. I 7.
~~
]
A A A C Interest Interest Interest Interest J J PI M M D D C C C Interest Interest Interest Interest Interest M M M M M T T T T T T T T T T Buy 10/09/09 M Col. B (2)-Market disct accretion
-Cash Northern Trust Clficago -Cash Marshall&llsley Milw Schwab Go,,a Money Fmid -U S Treas Note -U S Treas See Stripped Tulsa County OK Indp Sch Dis Santa Clara CA Uni Sch Dist
9. 10. l 1.
12.
13. 14. 15. 16.
C
C D C D
Interest
Interest Interest Interest Interest
M
M M M
T
T T T
Buy
Buy
10/21/09
10/14/09
M
M
Sold
08/15/09
17.
-Jordan UT School
Interest
Date of Report
05/15/2010
VII. INVESTMENTS and TRUSTS - ineo,~e, ,.oleo, ~ .... ,~o,s (Includes those of spo ..... d dependent children: see pp. 34-60 of filing instructions.)
NONE (No re, portable income, assets, or transactions.)
A. B. C. D.
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
Income during reporting period (l) (2) Amount Type (e.g.. Code 1 div., r~nt. (A-H) or int.)
Gross value at cod ofreperfing period 0) C2) Value Value Code 2 Method Code 3 (J-P) (Q-W) M M M M M
M
Transactions during reporting period (i) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm,dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity, of buyer/seller (if private transaction)
-Mississippi ST -Arlington TX ISD -Gulf Coast Waste TX -New YorkNY GO BDS -Maricopa Cnty AZ Dist No-refBd
-New York ST
C C C C C
C
T T T T T
T
Buy
10/09/09
24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
-Nicholas Fund -Vanguard GoldPrecMetals -Nexvcrest Mining -LIHIR Gold Ltd. -First Eagle Gold
A A A A B
03/03/09 03/12/09 08/18/09 12/01/09 12/16/09 08/18/09 03/12/09! 03/12/09 08/18/09 08/18/09 12/1
L L K K J J K K K K 3
A "
Reinv
A A
None None
L L
T T
" "
A D
None None M T
Reinv.
(See CoI~ ~)
U *B~k V~ue
V ~ff
W =Esl~at~
05/15/2010
None
K J K
-Gemvorth Life Ins. Co. -USBank IRA C~h -NuveenTaxExUnitTn~.gts (3) Q,Vells Fargo) ; A -AGE B,xnk:Dep Program (Wells Fargo)
M K J J
T T T T Redeemed 12/09/09 K E
43.
-HarrisBnkWinnetka Cash/CashEq
A C A
B C A B
J M K
K K I K
T T T
T T T T Buy (addI) 5/8/09 J
Dividend
V.te of Report I
Page 8 of 17
Cudahy, Richard D. ]
05115."2010
VII. INVESTMENTS and TRUSTS - i ........ t.e, tr .... ction$ (Includes those of sp ...... d dependent children; :~ee pp. 34-60 of jillng instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "IX)" after each asset exempt from prior disclosure B. Income during reporting period O) (2) Amount Type (e.g.. Code l div.. rent. (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 M~hod Code 3 (J-P) (Q-W) D. Transactions during reporting period (1) Type (e.g., buy. sell, redemption) (2) (3) (4) Date Value Gain mm/ddiyy Code 2 Code I (A-H) (J-P) (5) Identi~ of buyer/seller lif private ~ansaetion)
52. 53. 54. 55. 56. 57. 58. : 59. 60. 61. 62. 63. 64.
-Municipal Advantage Fund (PIMCO) (Stifel) -Nuveen Municipal Value Fund (Wells Fargo) -Neuberger Berman Mun Fund (Intermediate) (Stifel) -Blackrock Muni "rr. II (Stifel) : ] FT #1 NORTHERN TR CO-TTE -Short-term Investments & Cash -MFB Northern SmallCaplndexFnd (NSIDX) -MFB Northern Mid-Cap Index Fnd (NOMIX) -MFB Northern Fnds Stk Ind Fund (NOSIX) -MFB Northern Emerg Mkts Fund (NOEMX) -MFB Northern Intl Equ Fnd Index (NorNX) -MFB Northern Funds Large Cap Index (NOLVX) (Y) -Orono. MN, Indpt Schl Dist
A A B B G
Dividend Dividend Dividend Dividend K K K P2 Interest Dividend Dividend Dividend Dividend Dividend T T T T T T T T T T
Distributed
:~/17/09
J N K N
rein," of ally
(part)
Sold (part) Sold
Interest
m~ort/accrete
65.
66. 67. 68.
Interest
Interest Interest Imerest
T ....
T Matured T 04/01/09 M
I. Income Gain Codes: (See Cohannt BI and D4) 2. Vaine Codes (See Colmnnx Cl and D3) 3. Valtle M ell~od Cod~$ (See Coluam C2)
A =$1,000 c I~t F =$50,001 - ~t 100,000 l "$15,000 or lest N =$250,001 - $500.000 P3 -$25,1~30.001 - $50,000.000 Q =Appraisal U =Book VMue
B =$1,001 - $2,500 G =$100,0OI - $1,000.000 g =$15.001 $ 50.000 O =$500,001 - $I,000.00~ R ~Co~t (Peal Estate O~[y) M ~Other
C =$2,501 - $5,000 HI =$1.000.001 - $5.000,000 L =$50,001 - $100,000 Pl =$I,000.001 - $5.000,000 P4 =More than $50,000.000 S =Atsettmettt W =Estimated
D =15,001 - $15,000 H2 =More thau $5,000.000 M =$100,001 -$250,000 P2 =$5.0OO.001 - $25,00~.000 3" =Cagh Market
E =$15.001 - $50,0OO
Date of Report
Cudahy. Richard D.
05/15/2010
VII, INVESTMENTS and TRUST S - i.~,~e0 ,~t~,, ,, .... ~io,~ (l#cl~de$ those of ~ ..... ~ d~d~nt chitSn; see pp. 34-60 of filing instrucdong)
NONE (No r~ortable in.me, assets, or transactions.) A. ~cnp~oa of A~se~ (i~ludhg ~st a~) Phce "(X~~ afi~ each asset exempt from pfi~ ~los~ B. In.me during te~g ped~ O) ~t C~e I (A-~ U) Type (e.g.. ~v,. r~t. ~ ~t.) C. ~ v~u at end of ~g O) Valu~ Code 2 0"P) t2) Value Me~ C~e 3 (Q-W) T)~e (e.g., buy, sell. ~edempdt~) D. Tr~c~ons
G~ C~ l (A-H)
69.
70.
h~terest
Interest Interest
T
T T
72.
73.
Interest
Inrerest
T
T amort*accrete
74.
-Maryland State
Interest [merest
Interest Interest Interest
Buy Matured
Matured
03/05/09 M 05/01/09 M
06/01/09 L amort/accret~ amort/accrete
T T Buy 02/20/09 M
.Eagan, l~,~l -Univ ofNeb. Facs Corp. -U ofColo Enterpr Sys Roy. -Union City, NI -VA St Pub Schl Auth -Norwalk. CT -TX St
T T T T T T T
M M M M M M M
C.d.hy. Rlch.rd D.
05/15,2010
VII. INVE STMENTS and TRUSTS - income. ,~t~e. ~ns,c,ion* ancona,, tho,e o~,, ...... ~ ~p~d~, children; ~ee pp. J4~O of filing instructionl.)
NO~ ~o report~le income, assets, or transactions.)
A. De~fip~oa of Asse~ (includ~g ~st asse~) Pb~ "(~" a~ each asset exempt from prior ~los~e B. In.me du~ng ~ing ~ (1) (2) ~touat T)~e (e.g., C~ l ~v., ~t. C. Gross value at end of r~g pe~ (1) t2) VMue Value C~e 2 Me~ (Q-W) (I) T}~e (e.g., buy, ~ll, D. Tr~tion~ dung re~ng ~fi~ (2) (3) (4) Date V~ ~d~}~ Code 2 (5) Id~ti~ of buycr/~ll~ t~sac~on)
G~ Code 1
86.
la~terest Interest
Interest
T T
T
Buy Buy
Buy
02/26/09 M 08/18/09 M
06/03/09 M
-N.C. State Cap Imprv. -Johnson City. KS Uni Scb.l Dist -Iowa City, IA -/via State -DeSoto Co., Miss -Cherokee Co., GA ]FT #2/KL, Milw F
T T T T T T T T
05/15/09 L
100. -Isharcs Msci Emerg. Mkts Ind, Fund 101. -TX St Pub Fin. Auth Re,. 102. -Boston, I~L,~ Go Bnds
T T T Buy 10114/09 M
r~ .... [ w~,o....~,,.g
Page 1 1 of 17
Cud,.h~; Richard D.
I
I
Date of Report
0,,15/?010
NONE ~o reportable income, assets, o~" Dansactions.) A. D~cfipfion of As~ (i~lud~g ~st ~ts) Ph~ "~" aft~ ~ch asset exert from pfi~ ~losm B. ~come during r~g ~fi~ ~) (~ ~ount TS~e (e.g., [ C~e 1 div., r~L C. ~s v~ue a~ end ofre~ (~) ~ ~2) V~lu~ [ Value C~e 2 ~ M~M D. T~ac~o~ d~g 0) T~e (e.g, ~y. sell. (2) Date V~ue ~d~~ C~ 2
G~ ~1
103. -Te~e ~ 1~. -~ S~ate ~ Bnds 105. ~Sapulpa OK Cap h~r t~. -K~mc~ Interl~l Sch Tm~s Au~. 107. -Pommou~ VA ~f 108. -Isha~s MSCl ~tUA IDX 1~. -T~x, is Cn~ 110. -Montgom~ Co. ~ Pkg R~. 111. -Gulf Coast W~t TX 112. -Ta~ma WA Water 113. -~1~ Cn~ ~ ,114. -Nichol~ Fund 115. -Isles MSCI A~g~alia 116. -Ishares MSCI Brazil 117. -Ishams MSCI Singa~re 118. -Fidelity ~ity Inc. F~d 119.
h~te~st lnte~st Inle~st In~st lnte~t In.rest Inte~st Interest In~st In~st Interest Dividend DisSdend DisSdend Di~hdend DixS~nd Divided T T T T T T T T T T . T T
Sold Buy
07~1i~ 10/14/~
L M
K L K K
L L L M J J
Rely Sh~
Date of Report
Cudahr. Richard D.
I
D. Transactions during reporting period (l) T~.~e (e.g., buy. sell. redemption) (2) (3) (43 Date Value Gain mm."ddiyy Code 2 Code 1 (J-P) (A-H)
05/15/2011)
,, ,alue, tr .... ctions (IncLudes those of spouse and dependent children; see pp. 34-60 of filing instrucaons.)
120. 121. 122. -SPDR Gold Tr. Gold Shs 123. -MA St Bnds 124. -Denver Co. City & Co. SD 125. -NY GO Bnds 126. -Albuq NM CO Gen PU 127. -OH St GO Hwy CA 128. -Fairfax Co VA RefPub I 129. -Vanguard IntnatlGroPofolio 130. -Vang~mrd IndexS00 Pofolio 131. 132. 133. 134. -AIM Invesco Finan Svcs 135. -Vangatard Healflteare Portfolio 136.
Dividend Dividend Interest Interest haterest Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J .... J .... M
(~art)
1. Income Gala Code~: (See Cohtmt BI and D4) 2. V~h~e Codes (Se~ Cohumtt CI and D3) 3. ~,ralue Method C~:x~ (See Co lumu C21
A "$1,000 o lest F -$ 50,001 - $I 00,000 J =$ I 5.000 or l~t N =$25t1.001 - $500,000 P3 ~$25,000,001 - 150,000,000 Q -Appraisal O =Book Valu
B =$1.C01 - $2.500 G -$ 100.0OI - $1,000.000 K =$15.001 - $ 50.000 O *1500,001 - $ 1,000.000 R =Cost (R~al Estale Only) V =Othe~
C =$2.501 - $5.000 HI =$1,000.001 - $5.000,000 L =$50,001 - $100,000 PI =$1,000.001 - $5.000.000 P4 =Mor than $50,000.000 S =At~etlt W *Estimated
Page 1 3 of 1 7
C.dahy. Richard D.
~),,e om~po.
05115, 2010
I
VII. INVESTMENTS and TRUSTS -i,e ....... tu,, transactions (Inelades those of sp ...... d dependent chihtree; seepp. 34-60 of.filing instructions.)
[] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including Iru$1 assets) Place "iX)" a/xer each a~set exempt from prior disclosure B. Income dming reporting period C. Gro~s value al end of reporting p~riod D. Tran~ac tions during reporting period
(I)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent. or int.)
(1)
Value Code 2 (I-P)
~2)
Value Method Code 3 (Q-W)
(l)
Type (e.g., ]my, sell, redemption)
12)
(3) (4) i
Gab3 Code I (A-H)
(5)
ldenli~" of b~er/~,eller (ifpri~,at
Dividend
12/14/09 02/17/09
J L
139.
PI
T T
140. -Charles Schwab Govt. Money Fund 141. U.S. Treas. Note
142. U.S. Tre~s. Note 143. -Leander. TX Ind. Sch. 144. TXStPub Fin Auth 145. -Tempe AZ 146..-CT St Bonds 147. -L.A. CA Uni Sch Dist GO Bnds 148. -Albuq NM GO GEN PU 149. -NY GO Bonds 150. -Kentucky lntloc Sch Trans Auth 151. -Pulaski Cmy AR 152. -Beaufort Cnty. S.C. 153. -Ishares Msci Emerg. Mkts Ind. Fund.
Interest
Interest Interest Interest Imerest Interest Interest Interest Interest Interest Interest Interest Dividend T T T T T T T T T T
Sold
Sold
05/15/09
01/15/09
L
K A
Buy
10/14/09
i
m
Date of Report
I Cudnhy, mch~rd D.
0~t~0
~I. INWEST~NTS and TRUSTS - ~ ..... ~..~.. ~,~o., a,,-~ ~ho,, o~ ..~ ~.~.0. ~,~;
NONE (No reportable income, assets, or transactions.)
A. Description of Asse~ (imlu~g ~st asmts) P~ce "(~" af~ each asset exempt ~ prior ~sclo~ure B. In.me du~ng repo~g pe~ O) (2) ~o~t T)~ (e.g.. C~e I div., rent. (A-H) or ~t.) C. Gross value a~ end of xe~g C;) Value C~e 2 O-P) ~2) Value Me~ C~e 3 (Q-W) T T T Cl) T)ge (e g.. ~), sell, redemplion) D. Transactions during feting (2) O) C4) Date Value G~ ~/d~)~ C~e 2 C~e 1 (J-P) (A-~
154. -lshares MSCI XNHUA IDX 155. -Ishares MSCI Brazil 156. -Ishares MSCI Singapore 157. -Nicholas Fund 158. -Fidelity Equity Income Fund 159. 160. 161, 162. -VangnardWorldlntnatlGrowth 163. -Vanguatxl Index Tr 500 164. 165. 166. 167. -Vanguard Health Care 168. 169. 170, -AIM invesco Finan Svcs
04/03/09 04/03/09 10/14/09 03/02/09 04/03/09 07/10/09 10/02/09 12/11/09 12/15 03/26/09 06/23/09 09/28/09 12/28/09 03/02/09 03/20/09 12/30/09 02/17/09
Dividend Dividend Dividend Di~Adend Dividend Dividend Di\4dend Di~qdend Dividend Dividend Dividend Dividend Dividend
T T T T T T T T T T T T
(a~d1)
Buy (addl) Buy (addl) Buy (addI) Buy (ad~) Buy (ad~rl) Buy (addl) Buy (addI) Buy (addl) Sold (part) Buy (addl) Buy (addl) Sold
Buy
(~e Co~ ~)
U =B~ Value
Dale of Report
Page 1 5 of 17
Cudahy. Richard D.
05/15/2010
VII. INVESTMENTS and TRUSTS - i.co.~. .~ln~. ~r ..... ~o.~ a.c~de, t,o.. oy.m ..... ~ ~ ~h,~.~; .~
NONE (No reportable income, assets, or transactions.)
A.
De~fiption of Asse~ (includ~g ~si ~s~)
B.
In.me during ~o~g ~fi~
C.
~oss vMue at end ofre~g
D.
Tr~sactions dung repo~ng pefi~
CO
(2)
T)~e (e.g., div., r~t. or ~t.)
(0
t2)
(l)
T~e (e.g., buy, sell. redemption)
(2)
Date ~td~[~
(3)
Value Gm C~e 2 (J-P) (A-H) ld~ti~ of (ifpris~ ~nsacfion)
171. -T Rowe Price MidCap Crrowlh 172. 173. -SPDR Gold Tr Gold Shrs
T T T
Sold
(pa~)
Buy (addl) Buy
K J K
1. Income Gain Coder: (See Colu~m~ BI and D~) 2. Vahte Codes (See Cohunas CI and D3) 3. Value Method Cx~e~t
B =$1.001 - $2.500 O ~$100,001 - $1,0~O,000 K ~115.001 . $50.000 O =$500,001 - 11,000,000 R ~Co$! (ILeal Estate Ouly)
D =$5.001 - $15,000 H2 -Mo~ than $5,000,000 M =$100,001 - $250,000 P2 =gS,000,001 - $25,000,000 1" =Cash Market
E =$15.00! -$ 50,000
Date of Repert
Page 1 6 of 1 7
Cudahy, Richard D. ]
05/15J2010
Fom~er Trustee~~-] passed away in January, 2009, and has beta replaced byil
On February 14 the investment portfolio formerly listed as bring at Wachovia was h"aasfcrfcd to the purchaser of Wad~ovia, Wells Fargo: all ~ef~nces to "Wacho\~ia" have been changed to "Wells Fargo." Line 50s a.~et no longer appears in any of the holdings and will be removed for the 2010 report. Line 63 shotdd not have appemed on this ye.a~rs r,:port; asscLs were sold in ~une of 200g and not identified as sold in 2008 report.
D,te of Report
Cudahy, Richard D.
I)5/15,2010
I certify, that all information given above (Including information pertaining to my spouse and minor or dependent cldldren, ff an)) is accurate, true, and complete to the best of my knowledge and belief, and that any intormation not repo~ed was withheld because it met appticable ~tatutory prox~slons permitting non-disclosure. I further certify that earned Income from outside emplo~ent and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq ~ 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY LNDIVIDUAL WHO KNOWINGLY AND V~TLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE S[~LIECT TO CIVIL AND (37J_MINAL SANCTIONS (5 U.S.C. app. 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544